Retaining Employees

Retaining Employees

► Introduction ► Performance Management ► Policy

Helen Ticey

Introduction

New Hires & Rehires

(Probationary Period)

Retaining Employees

PolicyAll new employees are placed on probationary

status for six months. • New hires• Rehires• Inter-agency transfers• Intra-agency transfers• Promotions

that are classified • Full-time• Part-time• Emergency Hire

PolicyPolicy

During the probationary period, supervisors should evaluate:

– Behavior– Performance

If an employee exhibits inadequate performanceand/or inappropriate behavior during theprobationary period, the employee may be terminated.

New HiresNew Hires

A new hire is defined as an employee hired intoArkansas State Government.

REHIREREHIREA rehire is an employee that was previouslyemployed by ADH or State of Arkansas who isreturning to employment after a break inservice of more than two pay periods.

Interagency Transfer/PromotionInteragency Transfer/PromotionA transfer or promotion from another stateagency in the ADH without a break in service ora break in service of less than two pay periods.

Intra-agency Transfer/PromotionA transfer or promotion within the Agency by acurrent ADH employee without a break inservice or a break in service of less than two payperiods.

Supervisor’s ResponsibilitiesSupervisor’s Responsibilities• Anytime during the probationary period, but no less

than two weeks prior to the end of the probationary period, evaluate the employee’s performance and behavior and determine whether to – Place employee on regular status at the end of

probationary period– Extend the probationary period (One three-month

period)– Terminate employment

• Notify HR of extension of probation or request to terminateNOTE: If HR is not notified, employee is automatically

placed on regular status at the end of the six-month probationary period.

Regular StatusRegular Status

• Definition– Not Permanent– Status after Performing Satisfactorily During

Probation

• Options– Employee has access to

Mediation/Grievance procedures

QUESTIONSQUESTIONS

Retaining Employees Through Performance Management

A look at performance-based merit pay

Act 289 of 2007

• Effective July 1, 2007• Implemented Merit Pay System based on

Performance• For both Classified and Unclassified

Employees

Act 688 of 2009

• Effective June 28, 2009• Implemented revisions to merit Pay System• Classified personnel on the Career Service Pay

Plan (C grades) receive increase as a % of pay• Professional & Executive Pay Plan (N Grades)

and unclassified (U class codes) receive one-time bonus at end of fiscal year.

Act 688 of 2009

• Classified employees (C Grades) who exceed max or career salary will also be paid one-time bonus at end of fiscal year.

• Bonus dollars added into current salary for retirement calculations only.

• If employee terminated before end of fiscal year, the bonus is forfeited.

Act 688 of 2009• All FT & PT employees have eligibility date for

Merit Pay Increase.• October 1 for employees hired on or before

October 1, 2006• Latest hire date for any employee hired after

October 1, 2006.• Must have 12 months of continuous

employment to be eligible for merit pay increase.

What is Performance-based Merit Pay?

• Merit Pay System – incorporates pay and performance evaluation standards and establishes criteria for salary adjustments or lump sum payments for employees who meet performance standards.

• Performance Evaluation System – A system for comparing performance with pre-established standards of satisfactory performance.

• MIED – Merit Increase Eligibility Date

Eligibility

• Full-Time and Part-time Employees• For 12 continuous months• Rehires –latest hire date if after Oct 1, 2006• Extended Leave covers employees on

– Military Leave/Extended Military leave– Catastrophic Leave– Leave Without Pay (LWOP)

Eligibility

• Employees on extended leave - receive merit increase on their merit increase eligibility date if in active pay status.

• Employees not in active pay status will receive their merit increase upon their return to active pay status.

Extended Military LWOP

• Supervisors of employees on extended military leave without pay will use the employees most recent performance evaluation score to determine the amount of the merit increase.

• The increase will be awarded to the military member when they return to active pay status

Eligibility

• Employees receiving a written performance-based or disciplinary action during the twelve (12) month rating period are not eligible for a merit increase.

• The employee’s performance evaluation and date of merit increase eligibility remain October 1 or the latest hire date, whichever is applicable.

Performance-Based Criteria

Job-related requirements (included, but not

limited to) that must be successfully

completed by employees:

– Demonstrating satisfactory job performance– Exhibiting appropriate conduct

Who is eligible?

• Regular full-time employees with continuous employment with the State for 12 months

• Part-time (including job share) in a regular salaried position with the State for 12 continuous months

Merit Increases (2010-2011 Biennium)

• Overall satisfactory rating .75% increase• Overall above average rating 1.5% increase• Overall exceeds standards rating 2.25%

increase

Performance Measurements

• (E) Exceeds Standards

• (A) Above Average

• (S) Satisfactory

• (U) Unsatisfactory

• Managers and supervisors who fail to complete a performance evaluation within 30 days of the employee’s MIED under their administrative control are not eligible for merit increases.

• Managers and supervisors must have attended ADH Supervisor’s training before taking disciplinary action or completing performance evaluations on employees.

When is an employee eligible?

• Merit Increase Eligibility Date (MIED)—The date an employee is eligible to receive a merit pay increase based on their performance evaluation.

• October 1 or Anniversary Date

Performance Evaluation System

A system that:• Establishes performance expectations• Monitors performance of job duties and

tasks• Provides feedback• Rates the performance

Three Phases

• Implementation• Evaluation and Feedback• Final Evaluation

Phase 1 – Implementation

• Get the 1158 – Functional Job Description• Review it • Create 1973 and 1974• 1974 must contain same duty areas as 1158 • 1974 must contain weights matching the 1158 –

Functional Job Description • Complete in a timely manner – within 30 days after

employee begins• Total weight on 1974 and 1158 must both equal

100%

Phase I (Implementation)

• Director, Deputy Directors and applicable Executive Management staff complete Parts I and II of the Executive and Professional Performance Evaluation Form at the beginning of the rating period for all employees under his/her direct supervision.

• Rating period beginning and ending dates should be entered at the bottom of the form.

• Appropriate Addendum should be included


• Managers/Supervisors conducting PEs on senior management and all other employees completes sections I and 3 of the Performance Evaluation Criteria/Eligibility Form (HR-1973)

• Senior Management uses 1973 & 1974• All other employees use 1973 & 1974

Continued…

Phase I(Implementation)

• Manager/Supervisor completes the Performance Evaluation Form (HR-1974)– Listing duty areas and weights for which the employee will be evaluated

• In the order of importance• Weights must total 100

Job duty areas should be weighted according to the importance of the employee’s job duties, with the most important job duty receiving the highest rank and %.


Phase II (Evaluation and Feedback)

• Supervisor will monitor and document employee performance throughout the rating period

• Mid-point review is required for employees (“C” Grades) at six months from the start of the rating period

• Oral and documented feedback must be presented to ensure employee is aware of performance

• Weight, rating, score and justification must be entered in the “Mid-Point Review” section of the Performance Evaluation Form (HR-1974)

Phase II (Evaluation and Feedback)

• Unsatisfactory rating—supervisor must complete a Counseling Statement

(HR-1131) and place the employee on probation for 30-180 days

(Remember…another P.E. must be conducted

prior to the end of the probationary period)

Phase III (Final Evaluation)

(Ninety days prior to merit increase eligibility date, MIED)• Executive Management and Professional Staff

Performance Evaluation Form—The Rater completes evaluations and enter information in Part III

• Performance Evaluation Form HR-1974—Rater completes evaluation on Sr. Management and employees and enter information in the “Year End Evaluation” column and comments under “Justification for Rating”. Secures employee signature on 1973.

• The Performance Evaluation Criteria/Eligibility Form (1973) and the Performance Evaluation Form (1974) must be submitted to the Reviewing Official for signature prior to the evaluation being discussed with the employee.

Phase III(Final Evaluation)

• Managers and supervisors grades C121 and above evaluated using the Performance Evaluation Form HR-1974 must be evaluated on the following duty areas in addition to others duty areas as assigned. – Job Knowledge and Quality of Work– Accountability, including Code of Conduct– Collaboration and Adaptability

Phase III (Final Evaluation)

• Meet with the employee to discuss the evaluation

• Have the employee to sign and date (1973) as having received the evaluation

NOTE: An unsatisfactory rating in any duty area precludes awarding an Exceeds Standards or Above Average overall rating.

Appealing a Performance Evaluation• Employee must indicate on HR 1973 if the

employee wishes to appeal• Documentation must be submitted within 5

working days of date of receipt of P.E.• Overall score of Satisfactory or

Unsatisfactory may submit a written request for appeal to the Center Director (Center Director or Oversight Committee will make an appeal decision in writing within seven working days of receipt of request. The appeal decision is final and binding.)

Appealing (cont’d)

• An employee must indicate on the HR-1973 at the time of receipt of the PE that he/she wishes to appeal the PE.

• Only overall scores may be appealed.

Appealing (cont’d)• The employee then has five working days

from the date of receipt of the PE to file written documentation in support of the appeal request.

• The appeal request documentation must include evidence to support each duty area rating the employee wishes increased.

• If documentation is not received within 5 working days, appeal will be denied.

Roles and Responsibilities of Supervisor• Familiarize employees with the performance

evaluation process• Complete in a timely manner• Assure all criteria have been met for merit pay

increases• Complete forms HR-1973 and HR-1974 for each

employee• Complete mid-point and annual year-end

performance rating• Determine the appropriate weight for each job duty

area• Determine the rating for each job duty area for

employee based on appropriate documentation. You may use the Table of Weights Guidelines (PER-1974A as a guide. Total weight must equal to 100.)

Roles and Responsibilities of Employee

• Meet the assigned performance-based criteria– Demonstrating satisfactory job performance– Complete any required training

• Demonstrate satisfactory conduct• Keep supervisor informed regarding process or

difficulties• Provide documentation of work performance to

supervisor– Certificate of completion of training– Commendation

When a Rating Supervisor Leaves

• Complete a performance evaluation before leaving (when possible) and send HR-1973 and HR-1974 to the Reviewing Official for employees evaluation period ending within 90 days (If supervisor fails to do so, Reviewing Official should complete)

• Not responsible, if supervisor leaves within the first 90 days of an employee’s rating period (New supervisor’s responsibility)

When a Rating Supervisor Leaves

• If supervisor leaves after the first 90 days and prior to the last 90 days of an employee’s evaluation cycle, the supervisor will complete a formal evaluation. (The evaluation should assist the new supervisor in assessing the employee’s level of performance prior to separation, but will not obligate the new supervisor to prorate the assessment.)

• Employees remaining in the same position, but having several different supervisors during the rating period, should be evaluated by the Reviewing Official.

Documentation• Employees are rated on the current evaluation period only• For probationary employees

– Counseling Statement with Performance Improvement Plan• Outlines specific performance expectations leading to improvement of

overall performance• Cites 30-180 day probationary period• Recommended training• Outlines actions to be taken by supervisor to assist employee

– Document periodic discussion of performance evaluation• Inform of progress or lack of improvement• Give specific information or training on how to improve or continue

improving performance

• Each employee requires two files– Official file in HR– Supervisor’s file

• Employee receives a copy of P.E. after all appropriate signatures are obtained

Refusal to Sign

• Explain signature does not necessarily mean agreement

• Offer employee an opportunity to make written comments

• If employee still refuses to sign, the rating supervisor and another supervisor will make a notation on the HR-1973 and forward it to HR

• An employee who refuses to sign the Performance Evaluation Criteria Form HR-1973 indicating the wish to appeal does not have access to the appeal process.

Performance Management

►Planning ►Focusing ►Assessing

• Set performance expectations• Be an effective communicator• Think about what you need to do a good job in your work• Be specific• Make sure expectations are measurable• Attainable and realistic to achieve• Relevant to position

Avoiding Pitfalls

• Unsigned or undated documents• Illegibility• Late documentation• Inaccuracy• Unsupported conclusions• Not being specific• Making excuses• Lying…even to be nice!• Inconsistency• Being over or under focused

QUESTIONSQUESTIONS

Retaining Employees Through Policies

►Disciplinary Policy ►Minimum Conduct

►Performance

PolicyPolicy

All employees are required to meet, at aminimum, satisfactory performance standardsand abide by certain minimum standards ofconduct.

DisclaimerDisclaimer

Nothing in this policy will alter the employment-at-will relationship between the employees andADH.

NOTENOTE• Human Resources must review and approve in

writing all suspensions and terminations prior to such actions being initiated

• Only supervisors who have completed supervisor training provided by or coordinated through HR will be allowed to take disciplinary action against an employee

• Failure to attend mandatory supervisor training will be immediately reported to the ADH Center Director by the HR Director

HIPAA ViolationsHIPAA Violations

When a conduct violation related to the Health Insurance Portability and Accountability Act (HIPAA), the supervisor and the HIPAA Privacy Officer will confer regarding the type of discipline that may be applied.

InsubordinationInsubordination• Willful refusal to carry out the directive of employee’s

supervisor– Verbally– Lack of action

(Unless there are mitigating circumstances)

!! Document! Document! Document !!

ConductConduct• Interchangeable with performance• Includes actions or lack of actions by

employees related to– Work rules– Policies– Procedures– Job performance– Office Mission– Safety

Minimum Conduct StandardsMinimum Conduct Standards

• Examples of types of unacceptable conduct and performance issues

• 56 items (Not all inclusive, only representative)

Dress CodeDress Code

Arkansas Department of Health employees are expected to project pride and self-awareness in appearance and hygiene to the customers and communities served.

PolicyPolicy

• Clothing, accessories, and jewelry must be clean, modest and professional

• Fingernails must be neatly groomed, cleaned and of an appropriate length for the type of work being performed

• Artificial fingernails are not allowed in patient care areas, including patients’ homes

• Hairstyles must be neat, clean and well groomed• Only ADH or ADH program logos are permitted on

shirts, jackets, or clinical clothing. Continued...

PolicyPolicy

• To insure safety, nurses, Public Health Technicians and lab personnel must wear closed-toed shoes when working in the clinic lab or in direct patient care

• No visible clothing, accessories, jewelry, or exposed body piercing or tattoos will state or allude to any obscenity, hate or violence, alcohol, tobacco, illegal substances, anything sexual in nature, nor hinder performance of the job

• No clothing will be worn tight, revealing, or sheer• Perfumes, colognes, aftershaves and scented lotions

will not be worn in patient care areas• Employees must wear their ADH identification badge

visible and face forward at all times while on duty

ResponsibilitiesResponsibilitiesSupervisors:• Set example for dress.• Wear picture identification badge.• Explain policy to employees.• Monitor employees’ dress.• Counsel employees for inappropriate dress, taking

disciplinary action if recurrence of noncompliance with this policy.

• Submit special requests for approval.• Maintain copy of request and approval in work unit

and submit copy to Human Resources.

Examples of Approved Attire Examples of Approved Attire • Suits, dresses, sweaters, skirts, gauchos, dress shirts,

polo-style shirts, blouses, turtlenecks, mock turtlenecks, jackets, trousers, slacks, and capris

• Scrubs when work unit policy specifies them as a uniform

• Loafers, boots, flats, clogs, conservative athletic shoes, sneakers, dress heels, leather deck shoes and dress sandals

Examples of Approved Attire Examples of Approved Attire • Closed-toed shoes - Nurses, Public Health

Technicians, and lab personnel when working in the clinic lab or direct patient care, including patients’ homes to ensure safety

• Open-toed shoes for non-clinical staff • Tank tops, spaghetti-strap tops, or muscle shirts

ONLY WHEN worn under another garment• T-shirts, solid in color, plain with no writing/artwork

Examples of Unapproved Attire Examples of Unapproved Attire • T-shirts and undershirts designed as undergarments• Torn, dirty, discolored, or frayed clothing • Mini-skirts, sundresses, beach dresses, leggings,

biker pants/shorts, walking shorts or shorts of any kind

• athletic suits, athletic pants, athletic jackets and exercise attire

• Midriff-baring tops, T-shirts with writing/artwork, tank tops, muscle shirts, and spaghetti-strap tops when worn alone

Examples of Unapproved Attire Examples of Unapproved Attire • Any and all clothing that is too short, too tight, sheer,

or revealing • Hats or caps of any kind worn inside, unless

recovering from illness resulting in hair loss • Beach shoes, thong shoes, shower shoes (100%

rubber, plain or ornate, with or without wedge heels)• Flip-flops, slippers, house shoes and bare feet • All denim pants, jeans, trousers and hats/caps of any

kind, regardless of color

ExceptionsExceptions• Blue Jeans may be worn by employees in

work units when specific to the mission of the work unit and with prior written approval of the ADH Chief Operations Officer (COO).

• When participating in health promotion activities it is acceptable to dress for the performance of those activities. An example would be wearing athletic clothing and running shoes.

ExceptionsExceptions– Small designer logos may be worn on approved

attire.

• – Exceptions to this policy will be made for religious

practices.

Reasonable Cause Drug TestingReasonable Cause Drug Testing

If an employee is suspected of a violation of the Substance Abuse Free Workplace Policy, the employee’s immediate supervisor or the next level supervisor will initiate a reasonable cause test.

Reasonable Cause Drug Testing1.Another manager or supervisor should

observe and document the employee’s suspected behavior or violation

2.Observations should be discussed with the responsible manager for a determination of action to be taken

(Contact Pat Hathaway 501-661-2714 or HR)

3.To confirm, the supervisor should contact a’Test to administer screening.

(Employee must be transported to testing site. DO NOT allow them to drive themselves.)

CounselingCounseling Counseling employees takes:• A strong attitude

• Consistency

• A plan of action

• Use Non-disciplinary Counseling Statements (PER-1131)

Progressive DisciplineProgressive Discipline

• Continuous

• Sequential movement

• Disciplinary action to the next level

• Substantially similar offenses

Steps to follow

• Gather information• Assess the severity• Decide how to respond• Prepare• Meet with the employee• Document• Follow up

Employee Meeting

The supervisor must• Schedule a formal meeting and meet (within 5

working days to determine misconduct) with the employee

• Assure the employee knows the purpose of the meeting by providing all known facts

• Allow the employee an opportunity to refute the information or identify any extenuating factors

Continued…

Employee Meeting

• Allow employee to provide in writing, additional information or names of persons who may have relevant information

• Within 5 working days of meeting, determine whether disciplinary action will be taken

Employee Meeting• If disciplinary action is warranted, the

supervisor must follow guidelines outlined in policy

• If disciplinary action is not warranted, the supervisor must immediately notify the employee

• Supervisors must attempt a telephone conference with employees unable or unwilling to meet with them. Unsuccessful attempts to discuss must be documented.

Factors to Consider• Did the employee know or should have known the

conduct could result in discipline?• Would a reasonable employee in similar circumstances

realize the conduct was inappropriate or improper?• Was the behavior intentional?• Was there a reasonable explanation or mitigating

circumstances?• Was is the employee’s work history?• Was the conduct disruptive to work, create a hostile

work environment, or interfere with services to customers?

• Did it result in increased risk of legal liability to the Department?

• Did it endanger the safety of employees, co-workers or customers?

Documentation

• Document findings• Select the level of discipline appropriately

_______________________

The Disciplinary Checklist (HR-2813) will be completed if the supervisor is considering termination.

Once negative behavior has been addressed, don’t continue to bring it up, unless you are using positive reinforcement.

If negative behavior is continuing, use progressive discipline.

What’s Next?

Discipline Is:

An approach to modifying undesirable employee behavior through the use of a range of disciplinary consequences that are applied depending upon the nature and history of the employee’s misconduct.

Progressive Discipline Steps• Written warning recorded in employee’s file• Suspension without pay or demotion • Termination (Contact HR)• Performance ProbationNOTE: Depending on the severity of the

behavior, some steps may not be appropriate.NOTE: Effective date of such action will be the

date decision is made, and will not be backdated to the date the employee was removed from duty pending investigation.

Accrual of Points

• Written warning• Suspension• Demotion• Demotion + Suspension

= 3 points= 6 points= 8 points= 8 points

Points for each disciplinary action will be counted for one year after the disciplinary action was documented on a Notice of Disciplinary Action (HR-1173)

Any employee accruing 13 or more disciplinary points within a 12-month period will be terminated.

Employees with Accumulated Points

No current or former ADH employee is eligible to:• Apply• Accept an interview• Be selected for another positionIf the person has accumulated 6 or more

disciplinary points with 12 months preceding the closing date, the interview or selection or is currently serving a performance probation

Impact on Future Discipline

• Written warnings• Suspensions• DemotionsWill be counted for progressive discipline

purposes for a period of 24 months after the action was documented.

Temporary Removal from DutyPending Review of Allegations

Any employee whose alleged actions or behavior which have the potential to be

• Immediate or direct threat to public health or safety• Might threaten the safety of a

– Child– Client– Co-worker

• Might impede an investigation• Length of time will be determined by the Center

Director

Applying Discipline

• Immediately• Consistently• Impartially• Employees must be notified using the Notice

of Disciplinary Action (HR-1173)Should an employee refuse to sign, another

supervisor should act as witness and document in writing.

Performance Probation

• Conduct a performance evaluation, before initiating disciplinary action for a performance issue– Overall score of 2.99 or below—probationary

status 30-180 days (length determined by supervisor)

– Overall score of 3.00 or above—disciplinary action for the performance violation

Probationary EmployeesA Counseling Statement (PER-1131) will be issued that:• Outlines specific performances expected and ways of

improvement• Cites 30-180 day evaluation period of probationary

status (Max. allowable time is 180 calendar days)

Probationary Employees

A Performance Improvement Plan will also be issued that:

• Recommends training, if necessary• Outlines actions to assist employee• Provides additional documentation for clarity

and an action plan• Use HR-69

Probationary Period

Supervisor will:• Inform employee of progress or lack of

improvement• Give specific information or training on how to

improve or continue improving performance• Document periodic discussion of performance

End of Probationary PeriodSupervisor will:• Conduct another performance evaluation

before the end of the probationary period– If employee has met the standards satisfactorily,

remove from probationary status

Before End of Probationary Period

– If employee has not met the standards satisfactorily

• Probation period may be extended - If initial period less than 180 days

– Maximum allowable probationary period is 180 days

• Employee may be terminated

Employees Right to Appeal

• May grieve a disciplinary action within 5 working days of action

• Non-disciplinary Counseling Statements (PER-1131) are not grievable

Expectations• Clarify exactly what is required for successful job

performance• Use two-way communication (dialogue, not monologue)• Establish responsibilities and priorities for the employee’s

position• Structure a dialogue centered on employee performance

standards so that job tasks and work behaviors can be evaluated correctly

• Effectively train employees to accurately describe and recognize performance related issues and relationship to personal responsibilities

• Establish yourself as a valuable resource to your employees

Common Errors inCounseling or Discipline

• Personal bias

• Rash judgments

• Stereotyping

• Losing emotional control

• Inflexible counseling methods

• Improper follow-up

QUESTIONSQUESTIONS

MEDIATION-GRIEVANCEPROCEDURES

EMPLOYEE

Policy

All employees are given the opportunity to resolve complaints or grievances which the employee believes adversely affects his/her employment or working conditions in a timely manner and will be free from restraint, interference, discrimination, reprisal or retaliation.

What is a grievance?A formal complaint by an employee regarding an aspect of their employment, including, but not limited to annual leave, sick leave, compensatory leave, promotion, demotion, suspension, termination, discrimination, working conditions, or any other work related problems except compensation and conditions which are beyond the control of agency management or are mandated law.

What is a mediation?

A process that allows parties to constructively manage conflicts through collaborative problem solving and joint decision making through use of a neutral third party (mediator).

Established to provide employees with:• Prompt review• Impartial consideration• Equitable disposition

Mediation/Grievance Procedure

Voluntary Both mediations and grievances are voluntary.

If mediation is selected, grievance may not be used.

If grievance is selected, mediation may not be used.

If mediation is chosen, employee will not have access to the State Grievance Review Committee or the State Employee Grievance Appeal Panel.

Termination of process

• The grievance and/or mediation may be terminated at any stage, if an agreement between parties is reached

• Grievant may terminate a grievance procedure at any time

• Grievant, supervisor, and/or mediator may terminate a mediation at any point if the sessions are not productive

WHO CAN USE PROCEDURES?

Any employee who is:

• Non-probationary• Full-time employee of the Agency• Regular salaried position• Works a minimum of 1000 hours per year

NON-ELIGIBLE EMPLOYEES• New hires on probationary status• Appointed positions• Administrative posts • Part-time• Temporary• Intermittent• Extra-help• Emergency hire• ADH volunteers

Representatives

The employee and Agency may be represented by someone of his or her own choosing at each step of this procedure except the mediation procedure.

Determination of Grievable Matters

In the event the EEO/Grievance Officer and the employee disagree as to whether the matter is grievable, the Grievance Officer will request a determination from the State Grievance Review Committee with the Administrator of the Office of Personnel Management.

Grievable Matters (Examples)

• Verbal abuse, physical abuse, or harassment• Non-selection for competitive promotion• Demotion• Termination• Disciplinary actions• Suspension• Acts of reprisal based on participation in a grievance• Reduction of annual leave• Reduction of sick leave• Allegations of unlawful discrimination• Failure to award compensatory time to an employee

Non-Grievable Matters • Advice and/or counseling given by the

EEO/Grievance Officer, Employee Relations Manager, or Attorneys in ADH Legal Services

• Matters set out by law or outside the scope of Agency management authority or control

• Layoff disagreements• Performance Evaluation scores and denial of

pay increases• Denial of Job Series Promotions unless based

on discrimination

OPM MEDIATION

• Mediation session will be scheduled within 5 working days

• Process – successful agreement in writing within 5 working days to grievance officer

• Process – unsuccessful employee may not file to continue process

Benefits of Mediation• Faster• Binding Once Agreed Upon• Less Formal• Free• Win-Win Situation• Improves Communication• Good Time Management

– Mediation procedure will be completed within 10 working days

– Internal Grievance Procedure will be completed within 25 working days

Deadlines

NOTE: The grievance will be closed if the employee fails to submit by any given deadline or time frame within this policy.

Steps in Process—Step 1The EEO/Grievance Officer will:• Contact the employee and appropriate

supervisor within 3 working days• Explain the mediation process and grievance

procedure to both parties

The employee will:• Within 2 working days select the process

(Mediation-Option 1 or Grievance-Option 2) to be used

Steps in Process -Option 1: Mediation

• May be chosen instead of the formal grievance process at the employee’s option

• Will not have access to the grievance procedure• Does not declare winners or losers• Both parties will work collaboratively on a resolution• Mediator has no authority to make decisions or act

as a judge or arbitrator• Mediator will not act as an advocate or attorney for

either partyContinued

Steps in Process -Option 1: Mediation

• EEO/Grievance Officer will contact OPM to secure a mediator• Mediator will contact the employee and appropriate level of

management within 2 working days to schedule the initial mediation session

• If successful, the mediator will formalize the agreement in writing, with all parties signatures

• Agreement will be filed with the EEO/Grievance Officer within 5 working days

• If a resolution is not achieved within 10 working days, mediator will prepare a Statement of Mediation Non-Resolution specifying resolution was not achieved and signed by all parties

• Statement will be filed with the EEO/Grievance Officer within 2 working days

• At this point, the employee’s access to internal resolution procedures is exhausted

Steps in Process - Option 2:Formal Grievance Hearing

• EEO/Grievance Officer will forward a copy of the Employee Request for Mediation/Grievance to supervisor with Guideline—Supervisor Grievance Response Memo attached

• Supervisor will submit response in writing within 3 working day

• EEO/Grievance Officer will submit copy of response and Grievance Response form to employee

• Employee must return Grievance Response form within two working days

• If employee does not wish to appeal decision, grievance is closed and notice is sent to all parties indicating closure

• Or employee can appeal to the next stepContinued…

Steps in Process—Formal Grievance Hearing Step 2

• Employee must submit Grievance Response form indicating the wish to appeal within 2 working days

• EEO/Grievance Officer will arrange a Grievance hearing within 3 working days

• Grievance hearing must be held within 10 working days• EEO/Grievance Officer will coordinate the hearing process and

the Hearing Officer will take testimony from relevant witnesses, the employee, and the supervisor, and accepts exhibits

• Hearing will be recorded• Hearing Officer will submit his decision in writing to the

EEO/Grievance Officer within 5 working days to distribute to all parties. Continued…


• If not satisfied with results, employee may request a Grievance Decision Review by the Department Director/designee

• Employee must submit a Grievance Response form to the EEO/Grievance Officer within 2 working days indicating the wish to appeal the decision of the Hearing Officer and the EEO/Grievance Officer will submit to the Department Director for review

• Within 5 working days of the conclusion of the review, the Department Director will submit decision in writing to all parties

• The employee’s access to internal resolution procedures is exhausted

Continued…

Steps in Process—Formal Grievance Hearing-Step 4

• If not satisfied with results of the Department Director, employee may within 2 working days submit Grievance Response form to the EEO/Grievance Officer to appeal to the State Grievance Review Committee or the State Employee Grievance Appeal Panel (as appropriate)

• Within 5 working days the State Grievance Appeals will set a hearing date

• The Committee or Panel will conduct whatever review it deems necessary

Continued…

SEGAP STATE EMPLOYEE GRIEVANCE APPEAL PANEL

• UNLAWFUL DISCRIMINATION• TERMINATION• SUSPENSION WITHOUT PAY• INVOLUNTARY DEMOTION • FAILURE TO AWARD COMPENSATORY TIME• The Panel will conduct a hearing and make its

decision within 5 working day.BINDING ON ALL PARTIES

SGRC STATE GRIEVANCE REVIEW COMMITTEE

• WILL HEAR ALL OTHER GRIEVANCES

The Committee will conduct a hearing and make its decision within 10 working day.

RECOMMENDATIONS ONLY


• If reviewed by the Committee, Department Director will review recommendation and submit decision (will be final and binding) within 3 working days in writing to the all parties including Committee

• If reviewed by the Panel, Department Director will review and effect implementation of the decision

• If Department Director does not agree with the Panel’s decision, he or she may, within 10 days provide the CFO of the state and the aggrieved employee in writing and request a formal review of the Panel’s decision by the CFO

• Employee may also submit comments and respond to the CFO within 10 working days

• Within 15 days, the CFO will issue a final administrative order affirming, reversing, or modifying the Panel’s decision with such order binding on the Agency


Final Decision

• Does not prohibit employees from availing themselves of remedies outside these procedures

• Employees retain the right to file a compliant with the Equal Employment Opportunity Commission or pursue other legal remedies

EMPLOYEE’S ROLE• EMPLOYEES WILL

Be given time during workBe paid for travelHave access to relevant records and documentsNot use ADH resources

• EMPLOYEES MAYSeek technical assistanceHave witness present and question at scheduled

conferenceChoose a representativeRequest interpreters, readers, or other types of

assistanceFile HR-2801

MANAGEMENT’S ROLE• COMMUNICATE POLICY AND PROCEDURE TO

EACH EMPLOYEE

• GATHER ALL FACTS AND RESOLVE IN GOOD FAITH

• ASSURE CURRENT/FORMER EMPLOYEES USE WITHOUT INTERFERENCE, RESTRAINT, COERCION, OR REPRISAL

GRIEVANCE OFFICER’S ROLE• FILE REPORTS OF GRIEVANCES OR COMPLAINT

WITH THE EMPLOYEE RELATIONS MANAGER

• MAINTAIN COMPLETE RECORDS

• DETERMINE GRIEVABILITY

EMPLOYEE RELATIONS’ RESPONSIBILITIES

• MAINTAIN ALL DOCUMENTATION IN A SEPARATE FILE FROM THE EMPLOYEE’S PERSONNEL FILE

• NO INFORMATION RELATING TO THE GRIEVANCE WILL BECOME PART OF ANY EMPLOYEE’S PERMANENT PERSONNEL RECORD

• MAINTAIN HARD COPY FOR 5 YEARS OR PERMANENT WHEN REQUIRED BY STATE AND FEDERAL LAW

Causes of Grievances• Lack of training• Lack of communication• Lack of consistency• Unfair treatment/favoritism• Not following up• Lack of knowledge of policy

Major Cause of Grievance

WAYS TO PREVENT GRIEVANCES

• FAIR = TREATMENT• AWARENESS OF LAW• COMMUNICATION• FOLLOW THROUGH• ASK QUESTIONS FIRST

Employee/Supervisor Communications

• Encourage employees to discuss problems• Provide a basis to talk over matters of mutual

interests• To explain, reach agreement, and make

adjustments• Foster better understanding between

employees and supervisors

Open and clear communication will greatly decrease what may lead to complaints and grievances.

Remember

QUESTIONSQUESTIONS

Documents

Retaining Employees